AIUC-1
C005

Prevent customer-defined high risk outputs

Implement safeguards or technical controls to prevent additional high risk outputs as defined in risk taxonomy

Keywords
High-Risk Outputs
Risk Taxonomy
Technical Controls
Application
Mandatory
Frequency
Every 12 months
Type
Preventative
Crosswalks
Article 9: Risk Management System
MANAGE 1.4: Residual risk documentation
LLM05:25 - Improper Output Handling
GRC-09: Acceptable Use of the AI Service
LOG-15: Output Monitoring
TVM-11: Guardrails
STA-10: Primary Service and Contractual Agreement
Implementing detection and blocking mechanisms aligned with organizational risk taxonomy. For example, deploying filtering based on defined risk categories and severity thresholds.
Implementing response actions for detected risks. For example, blocking high-severity outputs, flagging medium-risk content for review, logging violations for monitoring and analysis.
C005.1 Config: Risk detection and response

Screenshot of filtering rules, system configuration, or code showing detection logic mapped to AI risk taxonomy categories and corresponding response actions per severity level - may include risk classifiers with block/flag/log rules, content moderation API configuration defining actions by risk type, or defensive prompting.

Eng: LLM output filtering logic
Universal
Establishing escalation procedures for flagged high-risk content. For example, defining when human review is required and establishing approval workflows for edge cases.
C005.2 Documentation: Human review workflows

Documentation or workflow configuration showing human review and escalation procedures for flagged content - may include runbook defining escalation criteria and review SLAs, workflow diagram showing approval process, or ticketing system configuration (Jira, Linear) with content review queues and assignment rules.

Engineering Practice
Universal
Implementing automated real-time interventions. For example, blocking or modifying outputs based on severity.
C005.3 Config: Automated response mechanisms

Screenshot of code or system configuration showing automated response mechanisms - may include logic blocking or modifying outputs based on risk scores, or dynamic warning messages triggered by content flags.

Engineering Code
Universal

Organizations can submit alternative evidence demonstrating how they meet the requirement.

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